Search for: "Investment Management Advisory Group"
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20 Apr 2023, 1:20 pm
The SEC’s New Proposed Rule Regarding Safeguarding Advisory Client Assets. [read post]
House of Commons publishes letter from UKSIF on greenwashing: sustainability disclosure requirements
19 Apr 2023, 8:46 am
Furthermore, given the good progress made by the Disclosures and Labels Advisory Group (DLAG) and the FCA through its close collaboration, the UKSIF says that it would like to see active consideration from the regulator to continuing to convene the DLAG on an ongoing basis, specifically beyond the finalising of the SDR measures later this year. [read post]
17 Apr 2023, 12:40 pm
Investment Management Company’s advisory clients. [read post]
14 Apr 2023, 11:27 am
Prospera Financial Services has 10 regulatory actions on its broker report, such as the following: The SEC reportedly filed charges against Prospera Financial Services in 2016 for allegedly making misstatements to certain of its advisory clients, including clients with separately managed accounts invested in F-Squared Investments, Inc. [read post]
11 Apr 2023, 9:00 pm
He serves on the Board of Managers for OSI Group and many of its companies. [read post]
10 Apr 2023, 11:49 am
The firm is dual registered as a brokerage firm and an investment advisory firm, CRD#: 44856/SEC#: 8-50854. [read post]
6 Apr 2023, 12:00 pm
The SEC reviews organizational charts, information about advisory, compliance, and management personnel, financial information about the firm, and relationships or arrangements with affiliates and related parties. [read post]
6 Apr 2023, 7:23 am
The firm is dual registered as a brokerage firm and an investment advisory firm, CRD#: 25427/SEC#: 8-41727. [read post]
5 Apr 2023, 5:53 pm
The company, which has offices in the United States, Europe, the U.K., Asia, and Latin America, will combine management teams and invest in unified global products based on the complementary strengths of both firms. [read post]
5 Apr 2023, 2:05 pm
The firm is dual registered as a brokerage firm and an investment advisory firm, CRD#: 37031/SEC#: 801-74927,8-47572. [read post]
4 Apr 2023, 7:38 am
The company, which has offices in the United States, Europe, the U.K., Asia, and Latin America, will combine management teams and invest in unified global products based on the complementary strengths of both firms. [read post]
4 Apr 2023, 7:27 am
The company, which has offices in the United States, Europe, the U.K., Asia, and Latin America, will combine management teams and invest in unified global products based on the complementary strengths of both firms. [read post]
3 Apr 2023, 7:08 pm
” The parent company will be called vLex Group. [read post]
2 Apr 2023, 6:00 am
Andrew Langroudi, and Gregory Mazares (Investors)Seed Round funding of more than $1M. (+) 7-March-22L2 ServicesEmpire Technologies Risk Management Group 3-March-22ThoughtTraceThomson ReutersDefinitive Agreement to Acquire 24-February-22Hold360 and Request360 from Congruity 360DISCO 24-February-22Cybersecurity and Data Protection Practice of Palmeiro & PlattEmpire Technologies Risk Management Group 26-January-22U.S. eDiscovery Retreat Programs (From Sub-Four… [read post]
30 Mar 2023, 10:04 am
Many broker-dealers and financial management firms recommended Northstar to investors, including: Bankoh Investment Services, Inc., Cetera Financial CommunityAmerica Financial Solutions East West Bank Hancock Whitney Investment Services P. [read post]
30 Mar 2023, 6:52 am
SEC Rule 206(4)-1 (Advisory Contracts) requires investment advisers to disclose any conflicts of interest and obtain written consent from clients before engaging in certain transactions. [read post]
29 Mar 2023, 12:50 am
If you have an investment related dispute, the securities attorneys at the White Law Group may be able to help you. [read post]
23 Mar 2023, 2:25 am
Like all companies in the insurance, financial planning, investment management and HR consulting industries, we are adapting to these changes. [read post]
20 Mar 2023, 6:10 am
These announcements expand on Monaco’s September 15, 2022 Memo on Further Revisions to Corporate Criminal Enforcement Policies Following Discussions with Corporate Crime Advisory Group, which laid the foundation for more detailed guidance on corporate compliance programs. [read post]
17 Mar 2023, 8:43 am
Sector 9 (Discretionary and advisory investment management). [read post]
